Upper-Bound Solutions for Active Face Failure in Shallow Rectangular Tunnels in Anisotropic and Non-homogeneous Undrained Clays

Abstract As urbanization accelerates, the demand for efficient underground infrastructure has grown, with rectangular tunnels gaining prominence due to their enhanced space utilization and construction efficiency. However, ensuring the stability of shallow rectangular tunnel faces in undrained clays presents significant challenges due to complex soil behaviors, including anisotropy and non-homogeneity. This study addresses these challenges by developing a novel failure mechanism within the kinematic approach of limit analysis, integrating soil arching effects alongside anisotropic and non-homogeneous undrained shear strength. The mechanism's analytical solutions are rigorously validated against finite element simulations using PLAXIS 3D and existing models, demonstrating superior accuracy. Key findings show that the proposed model improves predictive performance for critical support pressure, with relative differences as low as 5% for wide rectangular tunnels compared to numerical simulations. Results reveal that limit support pressure decreases with increasing non-homogeneity ratios and rises with higher anisotropy factors. However, both effects diminish in wider tunnels, where increasing width in soils with high non-homogeneity and low anisotropy factors significantly enhances stability. Practical implications of this study are substantial, offering design formulas and dimensionless coefficients for estimating critical face pressures in shallow rectangular tunnels. These tools enable engineers to account for soil anisotropy and non-homogeneity, optimizing design and ensuring safety in urban environments. Furthermore, the proposed model’s applicability extends to circular tunnels, where it offers comparable accuracy. This study bridges a critical gap in understanding the stability of rectangular tunnels, providing a robust framework for tackling the challenges of modern urban construction.